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Last updated 1 day ago
Deputy Director of Enforcement Antonia M. Apps to Conclude Her Tenure at the SEC
1 day ago
The Securities and Exchange Commission today announced that Antonia M. Apps, Deputy...
SEC Issues Exemptive Order Regarding Compliance with Certain Rules Under Regulation NMS
14 days ago
The Securities and Exchange Commission today issued an order granting temporary exemptive...
SEC Announces Departure of Director of Office of the Advocate for Small Business Capital Formation Stacey Bowers
about 2 months ago
The Securities and Exchange Commission today announced that Stacey Bowers, who has...
SEC Continues Efforts to Assist Market Participants During Implementation of Treasury Clearing Rules
about 2 months ago
The Securities and Exchange Commission today enhanced its efforts to assist broker-dealers...
SEC Issues Order to Reduce Operating Costs of Consolidated Audit Trail
about 2 months ago
The Securities and Exchange Commission today issued an order granting conditional exemptive...
SEC Seeks Public Comment to Improve Rules on Residential Mortgage-Backed Securities and Asset-Backed Securities
about 2 months ago
The Securities and Exchange Commission today published a concept release soliciting public...
SEC Announces Departure of Chief Operating Officer Ken Johnson
about 2 months ago
The Securities and Exchange Commission today announced that Ken Johnson, who has...
SEC Announces Agenda, Panelists for SEC-CFTC Roundtable on Regulatory Harmonization Efforts
about 2 months ago
The Securities and Exchange Commission and the Commodity Futures Trading Commission have...
Jon Kroeper Named Deputy Director of the Division of Trading and Markets
about 2 months ago
The Securities and Exchange Commission today announced that Jon Kroeper has been...
Small Business Forum Report to Congress Highlights Recommendations to Improve Capital Raising
about 2 months ago
The Securities and Exchange Commission released a report to Congress summarizing policy...
SEC Approves Generic Listing Standards for Commodity-Based Trust Shares
about 2 months ago
The Securities and Exchange Commission today voted to approve proposed rule changes...
SEC Issues Policy Statement Clarifying that Mandatory Arbitration Provisions Will Not Affect Effectiveness of Registration Statements
about 2 months ago
The Securities and Exchange Commission today published a policy statement to announce...